DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Yhb Investment Advisors Inc
Latest filing Mar 18, 2026
First filing on the tape Mar 1, 2012 · 30 filings
SEC status approved since Jan 26, 1990
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$1.9B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
30
20 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.3B as of Mar 18, 2026
Mar 1, 2012$758M then
HNW client RAUM$1.7B as of Mar 18, 2026
Mar 29, 2018$1.0B then
State-registered IARs (5.B.3)20 as of Mar 18, 2026
Mar 1, 20120 then
Employees (5.A)30 as of Mar 18, 2026
Mar 22, 201320 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 19 to 20
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $740,487derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 4.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B74%
- Individuals$252M11%
- Corporations and businesses$182M8.0%
- Pension and profit-sharing plans$109M4.8%
- Charitable organizations$46.4M2.0%
- Individual clients
- 732reported
- HNW clients
- 360reported
- Pension plan clients
- 9reported
- Charitable clients
- 66reported
- Accounts
- 3,074reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Paul Roger Martel | West Hartford, Ct | Mar 23, 1990 | 40 y | 2 |
| Mark Wilson Everette | Virginia Beach, Va | Jan 2, 2001 | 25 y | 0 |
| Dennis Patrick HanniganChartered Financial Analyst | West Hartford, Ct | Jan 10, 2006 | 21 y | 0 |
| Linda Lee Morel | West Hartford, Ct | Jan 8, 2014 | 22 y | 0 |
| Karen Ann Dootson | West Hartford, Ct | Apr 4, 2014 | 17 y | 0 |
| Diane Marie Daley | West Hartford, Ct | Nov 18, 2014 | 15 y | 0 |
| Thomas Matthew Manning | West Hartford, Ct | Sep 1, 2015 | 17 y | 1 |
| Elisheva Sharon Defeo | West Hartford, Ct | Jan 30, 2018 | 18 y | 3 |
| Anne Agonis SpaceChartered Financial Analyst | West Hartford, Ct | Jul 30, 2018 | 14 y | 0 |
| Byron K Nilsson | West Hartford, Ct | Oct 25, 2021 | 15 y | 0 |
| Hillary Rabchenia Landen | West Hartford, Ct | Jan 27, 2022 | 15 y | 2 |
| Hilary Ann Pohley | West Hartford, Ct | Dec 2, 2022 | 10 y | 0 |
| Massimo Alessandro Eichner | West Hartford, Ct | Mar 31, 2023 | 10 y | 0 |
| Nathanial James Chandler | West Hartford, Ct | Nov 3, 2023 | 10 y | 0 |
| Jared Madden | West Hartford, Ct | Jun 28, 2024 | 19 y | 0 |
| Ryan Coursey | West Hartford, Ct | Jul 8, 2024 | 13 y | 0 |
| Timothy Daniel RichChartered Financial Analyst | West Hartford, Ct | Jan 2, 2025 | 20 y | 0 |
| Joseph Mitchell | West Hartford, Ct | May 8, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.6% of current headcount1 left over 36 months
Left, latest
- Judith Peterson Havard to Stratos Wealth Partners, LtdMay 14, 2026 · RIA to affiliated broker-dealer or bank
- Jared Porter Soper to Sky Investment Group LLCJul 1, 2020 · RIA to RIA
- Steven Thomas Hannigan to Ggm Wealth AdvisorsFeb 24, 2016 · Other
Joined, latest
- Hillary Rabchenia Landen from UBS Financial Services Inc.Jan 27, 2022 · Wirehouse to independent RIA
- Elisheva Sharon Defeo from Northwestern Mutual Investment Services,LLCJan 30, 2018 · Other
- Thomas Matthew Manning from Sei Investments Management CorpSep 1, 2015 · Other
- Judith Peterson Havard from Johansen Group, Inc.Jun 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wilson Mark Everette · Cco, Chairman Of The Board, & Senior Portfolio Managercontrolsince 01/2009 · owns 10% to 25%
- Roger Paul Martel · Presidentcontrolsince 01/1990 · owns 10% to 25%
- Lee Linda Morel · Vice President & Senior Portfolio Managercontrolsince 07/2019 · owns 5% to 10%
- Agonis Anne Space · Ceo & Senior Portfolio Managercontrolsince 08/2024 · owns 10% to 25%
- Patrick Dennis Hannigan · Chief Investment Officer & Senior Portfolio Managersince 01/2009 · owns 10% to 25%
- Matthew Thomas Manning · Coo & Senior Portfolio Managersince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Hartford, Ct · principal | 18 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,864 to 3,074Sep 5, 2025 to Mar 18, 2026
- Advisory employees · 19 to 20Sep 5, 2025 to Mar 18, 2026
- Charity clients · 64 to 66Sep 5, 2025 to Mar 18, 2026
- Corporate clients · 17 to 15Sep 5, 2025 to Mar 18, 2026
- HNW clients · 308 to 360Sep 5, 2025 to Mar 18, 2026
- Individual clients · 725 to 732Sep 5, 2025 to Mar 18, 2026
- Employees · 28 to 30Sep 5, 2025 to Mar 18, 2026
- State-registered IARs · 19 to 20Sep 5, 2025 to Mar 18, 2026
- Discretionary RAUM · $2.0B to $2.3BSep 5, 2025 to Mar 18, 2026
- HNW RAUM · $1.5B to $1.7BSep 5, 2025 to Mar 18, 2026
- Individual RAUM · $237M to $252MSep 5, 2025 to Mar 18, 2026
- Pension RAUM · $101M to $109MSep 5, 2025 to Mar 18, 2026
- RAUM · $2.0B to $2.3BSep 5, 2025 to Mar 18, 2026
- Accounts · 2,731 to 2,864Jan 14, 2025 to Apr 15, 2025
- Advisory employees · 17 to 19Jan 14, 2025 to Apr 15, 2025
- Charity clients · 60 to 64Jan 14, 2025 to Apr 15, 2025
- HNW clients · 287 to 308Jan 14, 2025 to Apr 15, 2025
- Individual clients · 688 to 725Jan 14, 2025 to Apr 15, 2025
- Pension plan clients · 10 to 9Jan 14, 2025 to Apr 15, 2025
- Financial planning clients · unset to Jan 14, 2025 to Apr 15, 2025
- State-registered IARs · 17 to 19Jan 14, 2025 to Apr 15, 2025
- Discretionary RAUM · $1.7B to $2.0BJan 14, 2025 to Apr 15, 2025
- HNW RAUM · $1.2B to $1.5BJan 14, 2025 to Apr 15, 2025
- Individual RAUM · $223M to $237MJan 14, 2025 to Apr 15, 2025
- Pension RAUM · $102M to $101MJan 14, 2025 to Apr 15, 2025
- RAUM · $1.7B to $2.0BJan 14, 2025 to Apr 15, 2025
- Advisory employees · 16 to 17Nov 21, 2024 to Jan 14, 2025
- Employees · 27 to 28Nov 21, 2024 to Jan 14, 2025
- State-registered IARs · 16 to 17Nov 21, 2024 to Jan 14, 2025
- Advisory activities · 2 to 4Sep 3, 2024 to Oct 22, 2024
- Other offices · 0 to 3Sep 3, 2024 to Oct 22, 2024
- Accounts · 2,660 to 2,731Mar 27, 2023 to Mar 18, 2024
- Advisory employees · 15 to 16Mar 27, 2023 to Mar 18, 2024
- Charity clients · 59 to 60Mar 27, 2023 to Mar 18, 2024
- Corporate clients · 14 to 17Mar 27, 2023 to Mar 18, 2024
- HNW clients · 279 to 287Mar 27, 2023 to Mar 18, 2024
- Individual clients · 671 to 688Mar 27, 2023 to Mar 18, 2024
- State-registered IARs · 15 to 16Mar 27, 2023 to Mar 18, 2024
- Discretionary RAUM · $1.6B to $1.7BMar 27, 2023 to Mar 18, 2024
- HNW RAUM · $1.1B to $1.2BMar 27, 2023 to Mar 18, 2024
Signals
3 dated events
- Judith Peterson Havard left Yhb Investment Advisors Inc for Stratos Wealth Partners, Ltd (registered 2026-05-03)May 14, 2026 · Advisor changed firm · fact
- Lee Linda Morel (Vice President) appeared on Schedule A of Yhb Investment Advisors IncJun 17, 2019 · Control person joined · fact
- Yhb Investment Advisors Inc reported RAUM $1.3B, up 31% from $1.0B (2017-03-22 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@yhbia.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-561-7050reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/yhbiareportedpublic record, Form ADV, Sep 17, 2026
- Website
- yhbia.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 860-561-7050reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- yhbia.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- yhbia.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026